Archive for month: July, 2023

Regulatory News (Jul 2023)

July 27, 2023/in Regulatory News /by Tony Chan

Regulatory News (Jun 2023)

July 27, 2023/in Regulatory News /by Tony Chan

Annual update to the list of Financial Services Providers under the OTC derivatives regulatory regime
SFC and Exchange sign second addendum to MoU governing listing matters
Cross-Agency Steering Group welcomes publication of IFRS Sustainability Disclosure Standards
New speech by Julia Leung: Keynote speech at ASIFMA China Capital Markets Conference
SFC obtains disqualification orders against former directors of National Agricultural Holdings Limited
Four people charged following SFC and Police joint operation against securities fraud and illegal short selling
New speech by Julia Leung: Keynote Speech at Executive Dinner organised by the Hong Kong Economic and Trade Office in Bangkok, Office for Attracting Strategic Enterprises and InvestHK
SFC publishes Annual Report 2022-23
SFC reprimands and fines Taiping Securities (HK) Co Limited $1.3 million for internal control failures over employee dealings
Appointments and re-appointments to SFC Advisory Committee
CSRC and SFC hold high-level meeting in Hong Kong
SFC issues restriction notice to Global Group Securities Limited
SFC bans Xie Yangxiong for life
SFC updates guidance to prepare for HKD-RMB Dual Counter Model
SFC concludes consultation on the position limit regime
New speech by Julia Leung: Keynote speech at HKIFA 16th Annual Conference

Regulatory News (May 2023)

July 27, 2023/in Regulatory News /by Tony Chan